company and a listed company under the relevant notification. These persons, therefore, cannot perform duties as directors or executives of listed companies during the period they are being prosecuted
), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification, “investment advisory company” means a securities company licensed to undertake securities
COMPLAINT Dimet 010-2019 June 12, 2019 Subject : Notification of investment in IGEN Energy Co., Ltd. and McTRIC Public Company Limited, Partial Business Transfer to the Subsidiary and Amendment of
. “securities company” means an entity granted a license to undertake securities business in the category of securities brokerage. “Notification on Standard Conduct of Business” means the Notification of the
been [i] approved to establish or [ii] registered or [iii] managed by CIS operator being under the supervision of such agency. Clause 3 This Notification shall be applicable to a securities company
: Rules and Submitting Period of Report of Securities Company dated 18 May 1992 and the third paragraph of Clause 3 of the Notification of the Securities and Exchange Commission No. 18/2549 Re: Maintenance
Period of Report of Securities Company dated 18 May 1992 and the third paragraph of Clause 3 of the Notification of the Securities and Exchange Commission No. 18/2549 Re: Maintenance of Net Liquid Capital
, the maintenance of net capital complies with the rules as stipulated in the Notification of the Securities and Exchange Commission, as the case may be; (b) In case of mutual fund management company or